Functional Compliance

4 weeks ago

Bengaluru, Karnataka, India State Street Full time

Conduct Risk Compliance Associate - Hybrid Work Arrangement

Who we are searching for

We are looking for a candidate with 0 to 1 year of experience and good communication skills (Verbal &Written). The analyst will primarily work with the employee trade surveillance team and may also support other conduct risk teams including Conflicts of Interest. A hybrid work arrangement is provided to maintain work-life balance. This role is based in Bangalore (RMZ Eco world, Bellandur).

Why this role matters to us

The team you will join plays a vital role in the overall success of the organization. Institutional investors globally rely on us to manage risk, overcome challenges, and enhance performance and profitability. To achieve this, we need teams like yours to guide employees and the organization as a whole. In your role, you will work towards innovative, scalable solutions. You will assist in building resilience and executing daily tasks efficiently. If you are up for the challenge of leaving your mark in the financial services industry from day one, join us.

Responsibilities

  • Understanding State Street's Standard of Conduct, Code of Ethics, Global Personal Investment Policy, and other Conduct Risk compliance policies.
  • Monitoring employee trades, personal securities transactions, and Outside Business Activities for potential risks.
  • Surveillance of employee personal securities transactions, escalation of potential violations, and handling email queries.
  • Activation and Deactivation of employee profiles based on their job roles.
  • Collaborating with compliance teams locally and globally and performing tasks like broker statement reconciliation.

Desired Skills

  • Good time management and attention to detail.
  • Basic excel skills like V-lookups.
  • Knowledge of securities markets is advantageous.
  • Strong written and verbal communication skills.
  • Engagement with employees and clients regularly.
  • Accurate processing of transactions according to procedures.

Education & Qualifications

  • Bachelor's degree required, freshers can apply.
  • Internship experience or up to 1 year in any domain preferred.
  • Basic understanding of Compliance and Financial Products.
  • Available to work from 12 PM to 9 PM IST.

Wondering if you are the right fit?

We believe in the strength that diversity brings through our employees' varied backgrounds and experiences. If you are someone who embraces change, innovation, sees the bigger picture, makes data-driven decisions, and collaborates well, you could be a perfect match.

About State Street

Our Mission

State Street is a leading custodian bank, asset manager, and asset intelligence company worldwide. We are leaving a mark on the financial services industry through technology and product innovation. For over two centuries, we have been entrusted with safeguarding and managing the investments of millions. We offer investment servicing, data & analytics, investment research & trading, and investment management to institutional clients.

Work, Live, and Grow

We strive to create an excellent work environment. Our competitive benefits packages include comprehensive medical care, insurance, savings plans, and more. Flexibility is key, with Work Programs tailored to your needs. Plus, our development programs and educational support will help you realize your full potential.

Inclusion, Diversity, and Social Responsibility

We value the diverse backgrounds, experiences, and perspectives of our employees as a significant driver of an inclusive environment where everyone can thrive. We welcome candidates of various backgrounds, abilities, ages, sexual orientations, gender identities, and personalities. At State Street, we actively engage with communities worldwide as both a partner and a leader. You will have access to tools to balance your professional and personal life, paid volunteer days, gift matching programs, and employee networks.

State Street is committed to equal opportunity and affirmative action.

To learn more and apply, please visit our website.

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